1. BEYOND the BASICS What You Need to Know to Apply for and Administer
Foundation and other Non-Federal Funds with Your PI
Michelle Melin-Rogovin, MA
Senior Associate Director Foundation Relations
Feinberg School of Medicine
August 16, 2017

2. AGENDA
What is a foundation and a public charity (association)? What are their motivations for funding research and education at Northwestern?
What are the differences in working with foundations and public charities, when compared to federal agencies, when preparing proposals and budgets?
What institutional policies and procedures affect federal grants not foundation or association grants?
How does our institution work together to obtain, administer and report on foundation and association grants?
Criteria to evaluate whether an award is a grant or a gift
What other questions do you have?

3. Types of Charitable Organizations
FOUNDATIONS
PUBLIC CHARITIES
Independent Foundations
Corporate Foundations
International Foundations
Private Operating Foundations
Family Foundations
Associations
Supporting organizations

4. Why do we Care About the Motivation of a Charitable Organization?
The more we know, and help our PI’s understand the motivation behind an RFP, we can help them succeed in writing a successful proposal that is responsive to the organization’s interest.
The proposal should be laser focused on the guidance, but also understand the reason that the RFP is coming out now – how it fits in the organization’s priorities, and what personal stories are connected to the RFP.

5. Key Differences – Proposal Preparation
FOUNDATION
FEDERAL
Non-standard language and guidance. Can be hard to know what a foundation wants to see in a proposal.
Common to see “does not accept unsolicited proposals.”
Wide array of proposal standards and formats. Some larger foundations have adopted NIH forms and standards.
Standard proposal guidelines by agency. Standard portals and timelines.
Regular RFP schedules, required to accept proposals.
Fairly standard set of proposal standards that are updated infrequently.

6. TOP 7 REASONS THAT PROPOSALS FAIL
Does not fit funding priorities for organization (failure to do research).
Did not follow directions or guidance for RFP or organization.
Poor application quality (writing is poor, budget is calculated incorrectly to such a degree that it casts doubt on the PI).
Vague, unclear plan to conduct project.
Proposal does not present an approach that builds sustainability (assumes continued funding from organization).
PI does not have a good sense of his/her capabilities, team, environment.
Application is late.

7. Key Differences – Budgeting
FOUNDATION
FEDERAL
Budget total direct costs, and use the documented foundation F&A rate, which is provided by the organization.
Caveat is to apply off-campus rate appropriately
Budget strategically using limited foundation resources
Usual process is to budget modified direct costs and apply published, approved F&A rate.
Caveat is to apply off-campus rate appropriately
Use agency appropriate budget caps, fringe rates, and policies

8. Administering Awards
The relationship that was formed during the application process continues during the award period – maintaining communication and meeting deadlines are key to ensuring that your PI will have a shot at a competitive renewal.
Learn who the contact is at the awarding organization for fiscal and programmatic reporting to ensure you are aware of deadlines and reporting requirements
Attend meetings with your PI as appropriate; participate in quarterly calls, progress meetings and site visits
Include Foundation Relations in the application process and site visits

9. How do we work together to support investigators?
PI has research idea
Talks with Foundation Relations (FR)
Identify funding opportunities (matches)
FR coordinates communication all involved in application
RA contacts OSR & sets up electronic accts
Pl plans to apply for funding with FR and RA
PI/RA/FR sets timeline
PI writes application
PI works with RA to develop & finalize budget & admin elements
PI works with Foundation Relations to review/edit application
RA coordinates with OSR/FR on application requirements
PI completes application with RA
RA obtains OSR approval and submits

10. How Foundation Relations Can Really Help
Helped an investigator in tailor his proposal to the Bill and Melinda Gates Foundation by researching the impetus for the RFA. He did not change his science; but emphasized its impact on women and children based on previous RFA’s and public statements of Bill and Melinda.
Researched the potential reviewers for an investigator preparing an RWJF application; reviewed prior funding in this program area for RWJF for uniqueness of investigator’s idea. Provided strategic edits to help her submit a proposal that was just funded!

11. Common Data You’ll Need to Reference or Provide for Applications
Feinberg Data: Audited Financial Report: operations/annual-financial-reports/2015-Financial-Report.pdf NU Board of Trustees: trustees/trustee/index.html Tax Exempt Status Letter: services/tax/tax-exempt-status.html FEIN #: Faculty/Staff Statistics (Diversity, Numbers, etc): Not on any website I can find - Call Office of Foundation Relations in Evanston with at least one week’s notice!

12. Is it a Gift or a Grant?
If there is any question at the time of award, OSR will review the award documentation to determine if the award is a gift or a grant.
It is important for legal reasons that once an award is made that it is consistently administered from year to year, unless the terms change.
Common grant terms: requires specific deliverables, technical reports, detailed financial reports
Common gift terms: voluntary transfer of funds without direct benefit; general reporting required at end of year

13. We’re Here to Partner With You
We’re all here to accomplish the same work – to produce quality work and to obtain funding for the great work that our investigators do everyday.
We appreciate the help you provide our office in achieving our goals, and want to provide you with the information you need to accomplish yours.

15. For More Information Michelle Melin-Rogovin, MA
Senior Associate Director, Foundation Relations
Feinberg School of Medicine
OFFICE OF FOUNDATION RELATIONS: